| 09-05006 | 04/06/2011 | Claimant(s): John Dailey
Claimant Lawyers(s): Irwin G. Stein
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): Audette Paul Morales
Arbitrator(s): Herbert L. Brown, Jonathan H. Krotinger, Fern M. Laethem
Hearing Site: San Francisco, CA
|  | Expungement |
| 10-01590 | 04/06/2011 | Claimant(s): Mary Jo Broomfield
Claimant Lawyers(s): Robert A. Graham
Respondent(s): Suanne Jones, American Independent Securities Group
Respondent Lawyers(s): Jeffrey S. Salisbury
Arbitrator(s): Katherine H. O'Neil
Hearing Site: Portland, OR
| | $0 |
| 09-04269 | 04/05/2011 | Claimant(s): Charlotte Leitner IRA, Lionel Leitner Revocable Trust, Lionel/Charlotte Leitner Family Trust, The Charlotte Lleitner Revocable Trust
Claimant Lawyers(s): Michael P. Amad
Respondent(s): Fidelity Brokerage Services LLC
Respondent Lawyers(s): Paul M. Tyrrell
Arbitrator(s): Richard J. Kaplan, Michael J. Fingar, John H. Claudy
Hearing Site: Boca Raton, FL
| | Expungement |
| 09-07046 | 04/05/2011 | Claimant(s): William Copperill
Claimant Lawyers(s): Robert J. Boller
Respondent(s): Mitchell Sloane, Westrock Advisors.
Respondent Lawyers(s): Andrew Shapiro, Mitchell H. Sloane
Arbitrator(s): Carolyn A. Mann, Michael J. Deodati, Daniel J. Brooks
Hearing Site: New York, NY
| | $489,710 |
| 09-02965 | 04/05/2011 | Claimant(s): Florence E. Jordan Trust
Claimant Lawyers(s): Andrew P. Campbell
Respondent(s): Gregory Alford, Citigroup Global Markets.
Respondent Lawyers(s): Joseph L. Calabrese
Arbitrator(s): Lita S Menkin
Hearing Site: Birmingham, AL
| | $0 |
| 09-00795 | 04/04/2011 | Claimant(s): Joseph Neira
Claimant Lawyers(s): Gary N. Moss
Respondent(s): Michael Hartzman, Randi Mason, Bristol Financial Services., J.P. Morgan Clearing Corp., Northeast Securities.
Respondent Lawyers(s): Charles M. O'Rourke, Steven B. Feigenbaum, Thomas Vays
Arbitrator(s): Judith E. Gross, John Franklin Udochi, Martin A. Edelstein
Hearing Site: New York, NY
| | Expungement |
| 09-06657 | 04/04/2011 | Claimant(s): Leslie Katz
Claimant Lawyers(s): Alex Gardner
Respondent(s): Citigroup Global Markets., Marvin Lerman
Respondent Lawyers(s): William A. Hohauser
Arbitrator(s): Robert Manfredo, Romaine L. Gardner, Bernard Korman
Hearing Site: New York, NY
| | $0 |
| 10-04069 | 04/04/2011 | Claimant(s): Lety E Linn, David P and Lety E Linn
Claimant Lawyers(s): David Paul Linn
Respondent(s): Chase Investment Services Corp., Tony Wittrock
Respondent Lawyers(s): Elizabeth M. Hill
Arbitrator(s): Susan M. Thevenet
Hearing Site: Denver, CO
| | $0 |
| 09-05955 | 04/01/2011 | Claimant(s): Cathy Winston, John Winston
Claimant Lawyers(s): W. Christopher McDonough
Respondent(s): Charles Schwab & Co..
Respondent Lawyers(s): M. Jane Matoesian
Arbitrator(s): Anthony J. Soukenik, Alan A. Sachs, Richard H. Kuhlman
Hearing Site: St. Louis, MO
| | Expungement |
| 09-05068 | 04/01/2011 | Claimant(s): Five Rivers Assets Management
Claimant Lawyers(s): Robert E. Thompson
Respondent(s): Joseph Leschinsky, Interactive Brokers LLC
Respondent Lawyers(s): Jocelyn Barone Partridge, John J. Nielands
Arbitrator(s): Fred L. Simon, Eugene G. P. Byrne, Alan Steven Brodherson
Hearing Site: New York, NY
| | $0 |
